Individual Firm
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NIKOLAS MARSHAL BARR
NICOLAS M BARR, NIKOLAS MARSHALL BARR
CRD#: 5148394
IA
B
MORGAN STANLEYCRD#: 149777 6004 La Madrona Drive
Santa Cruz, CA 95060
Santa Cruz, CA 95060
View By:
2/7/2018
Customer Dispute
Denied
State Registrations
B
Alaska 9/27/2012
B
Nevada 8/22/2012
B
Arizona 6/1/2009
B
New York 6/1/2009
IA
Arizona 10/2/2012
B
Oregon 1/29/2014
B
California 6/1/2009
B
Texas 7/6/2017
IA
California 6/1/2009
IA
Texas 10/1/2018
B
Colorado 10/2/2018
B
Washington 4/13/2010
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/24/2008 - 06/01/2009 | MONTEREY, CA | |
B | 04/14/2008 - 06/01/2009 | MONTEREY, CA | |
B | 08/08/2007 - 10/26/2007 | TORRANCE, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.